Office of Compensation Analysis and Support Document Number: 

OCAS-PLCY-0001 

Handling Controlled Unclassified Information Effective Date: 1/22/2009 

Revision No.: 00 

Controlled Copy No.: ______ 

Page 1 of 17

Subject Expert: Tim Taulbee 

Approval: _______Signature on file___ Date: _1/22/2009_

Stuart L. Hinnefeld, Health Science Administrator

Concurrence: __Signature on file_____ Date: 1/22/2009

Larry Elliott, Director OCAS, NIOSH

Supersedes: 

None 

TABLE OF CONTENTS 

SECTION TITLE PAGE

1.0 PURPOSE...................................................................................................3 

2.0 SCOPE........................................................................................................3 

3.0 REFERENCES..............................................................................................3 

4.0 RESPONSIBILITIES.......................................................................................4 

5.0 GENERAL.....................................................................................................4 

6.0 POLICY PROCESS.........................................................................................5 

6.1 ACCESS TO UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION.................5 

6.2 DETERMINATION AND HANDLING OF UNCLASSIFIED CONTROLLED NUCLEAR 

INFORMATION..............................................................................................7 

6.3 DETERMINATION OF OFFICIAL USE ONLY......................................................13 

6.4 CONDUCT OF INTERVIEWS...........................................................................15 

7.0 RECORDS...................................................................................................15 

8.0 APPLICABLE DOCUMENTS............................................................................15 

9.0 DEFINITIONS AND ACRONYMS......................................................................15 

ATTACHMENT A, FOIA EXEMPTION CATEGORIES ...............................................................17
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RECORD OF ISSUE/REVISIONS 

ISSUE 

AUTHORIZATION 

DATE 

EFFECTIVE 

DATE 

REV. 

NO. DESCRIPTION 

1/22/2009 1/22/2009 00 New document to establish guidelines for the 

handling of sensitive documents and information. 

First approved issue. 
Effective Date: 01/22/2009 Revision No. 00 Document No. OCAS-PLCY-0001 Page 3 of 17 

1.0 PURPOSE

The purpose of this policy is to provide requirements for the receipt, access and use of 

controlled unclassified information [e.g., Unclassified Controlled Nuclear Information 

(UCNI), or Official Use Only Information (OUO)] received or generated in support of the 

National Institute for Occupational Safety and Health (NIOSH) responsibilities under 

the Energy Employees Occupational Illness Compensation Program Act. 

SCOPE

This policy provides the framework for managing controlled unclassified information, 

information sources, and information technology to ensure that records created, 

received and maintained in support of the Project are handled in compliance with U.S. 

Department of Energy (DOE) directives and Federal regulations (e.g., 10 CFR part 

1017). 

This policy applies to all NIOSH employees, its contractors and subcontractors, and 

special Government employees, such as members of the Advisory Board on Radiation 

and Worker Health (ABRWH), who use this type of information and defines the steps 

necessary to ensure the protection and security of controlled unclassified information 

during use and disposition. 

2.0 

3.0 REFERENCES

3.1 DOE Order 471.1A, Identification and Protection of Unclassified Controlled Nuclear 

Information 

3.2 DOE Manual 471.1-1, Identification and Protection of Unclassified Controlled 

Nuclear Information Manual 

3.3 DOE O 471.3, Identifying and Protecting Official Use Only Information 

3.4 DOE M 471.3-1, Manual for Identifying and Protecting Official Use Only Information 

3.5 DOE G 471.3-1, Guide to Identifying Official Use Only Information 

3.6 10 CFR Part 1017, Identification and Protection of Unclassified Controlled Nuclear 

Information 

3.7 5 USC 552, Freedom of Information Act, as amended 

3.8 42 USC 2168, Atomic Energy Act of 1954, as amended 

3.9 Security Plan for Interviews Conducted in Support of the EEOICPA by NIOSH in 

concert with the Oak Ridge Associated Universities at DOE Oak Ridge Operations, 

December 2004, as amended. 
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4.0 RESPONSIBILITIES

4.1 Team Leader (Supervisor) - The Team Leader is responsible for authorizing access 

for personnel within his or her task who require access to the system on which 

controlled unclassified information is stored and ensuring that employees with such 

access adhere to the requirements established under this policy. 

4.2 Project Records Custodian - A Project Records Custodian is identified, as 

necessary, by Project management and is responsible for oversight of the Records 

and Information Management Program for the Project. This is accomplished by 

interpreting regulatory requirements, establishing standards, generation of policies 

and procedures, and conducting periodic assessments for conformance to these 

requirements. 

4.3 Employees - Employees are responsible for conforming with the requirements of 

this policy. Documented verification of an employee’s awareness of this policy must 

be maintained and is subject to periodic internal and/or external assessment. 

4.4 Classification Officer (CO), UCNI Reviewing Official (RO), and/or Derivative 

Classifier (DC) - A DOE-approved individual responsible for reviewing documents 

generated by this Project which may potentially contain classified or controlled 

unclassified information. 

5.0 GENERAL

5.1 Controlled unclassified information is plain text or machine-encoded data that, as 

determined by competent authority (e.g., information owners), has relative 

sensitivity and requires protection because of statutory or regulatory restrictions 

(i.e., UCNI, OUO). 

 This is information that requires a degree of protection because inadvertent or 

deliberate misuse, alteration, disclosure, or destruction could adversely affect 

national security or other Governmental interests (e.g., program-critical information 

or controlled scientific and technical information, which might include computer 

codes [computer programs] used to process such information). 

5.2 Thumb drives, flash drives, and other removable electronic media containing 

controlled unclassified information should be password protected and/or encrypted, 

especially when this information is removed from a Federal facility. 

5.3 The two types of controlled unclassified information referenced in this policy are 

UCNI and OUO. 

Unclassified Controlled Nuclear Information 

This is not a classification category, and information subject to the UCNI handling 

restraints is not classified. However, information subject to UCNI handling is 

defined as certain unclassified but sensitive Government information concerning 

nuclear material, weapons, and weapons components. The dissemination of such 

information is controlled under section 148 of the Atomic Energy Act and must be 

protected from release to the general public. 
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Official Use Only

This is not a classification category and information marked OUO is not classified. 

However, this information may be exempt from public release under the Freedom 

of Information Act (FOIA) because the public release of such information has the 

potential to damage governmental, commercial, or private interests if disseminated 

to persons who do not need to know the information to perform their jobs or other 

authorized activities. Such information is protected as OUO information under DOE 

directives. 

5.4 Potentially Classified Information

Documents which are generated during the course of this project that have the 

potential to contain classified information in them are covered under the 

requirements of OCAS-PR-011, Department of Energy Classification Review of 

Documents. 

In the event that any document encountered is suspected of containing classified 

information, the document must be protected and provided via hardcopy to the 

appropriate Department of Energy office. Instructions on how to proceed with that 

document will be provided by the DOE. 

5.5 Violations 

A violation is any knowing, willful, or negligent action that could reasonably be 

expected to result in the unauthorized disclosure of UCNI or any knowing willful, or 

negligent action to control information such as UCNI for prohibited reasons (10 

CFR 1017.5). The person committing a violation is subject to a potential 

recommendation by DOE to impose a civil penalty or to seek imposition of a 

criminal penalty by referring the matter to the Attorney General for investigation and 

prosecution. 

5.6 Security Clearance Training Refesher 

All personnel who hold a DOE security clearance, including DOL and NIOSH 

employees and contractors performing EEOICPA-related work, must complete an 

Annual Security Refresher Briefing. Each clearance holder will receive an e-mail 

message from DOE notifying them of the requirement and providing instructions in 

how to access the briefing. The briefing is done electronically and is usually 

distributed in April or May of each year. The EEOICPA Project Manager will be 

advised of DOL and NIOSH employees who do not complete the briefing within the 

required period. Failure to complete the briefing could ultimately result in 

termination of the security clearance. 

6.0 POLICY PROCESS

It is NIOSH policy that all employees (Federal staff, contractors and subcontractor staff 

and special Government employees) will follow the requirements established in the 

following paragraphs related to the use and disposition of UCNI and OUO material. 
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The originator of a document is responsible for transmitting a document to a CO, UCNI 

RO, or DC to determine the need for review. 

Documents received from DOE facilities (e.g., through data capture efforts) should be 

marked according to their sensitivity level by the originating authority. See OCAS-PR010 for more details. 

6.1 Access to Unclassified Controlled Nuclear Information 

Only employees authorized for routine or special access to UCNI may have access 

to such information. 

6.1.1 Routine Access

Routine access refers to the normal exchange of UCNI during the conduct of official 

business and allows for further dissemination of UCNI if the requirements in 

paragraph 6.1.1.2 below are met. 

6.1.1.1 Authorized Individual - An Authorized Individual, who might be the originator or 

possessor of UCNI, may grant routine access to another eligible person (see 

paragraph 6.1.1.2 for eligibility requirements) simply by giving that person the 

UCNI. No explicit designation or security clearance is required. The recipient of 

the UCNI becomes an Authorized Individual for that UCNI. 

6.1.1.2 Eligibility for Routine Access - To be granted routine access to UCNI, a person 

must have a need to know the specific information as part of their performance of 

official duties or authorized activities. In addition to the need-to-know requirement, 

the person must meet at least one of the following requirements: 

6.1.1.2.1 U.S. Citizen. The person is a U.S. citizen who is one of the following: 

 A Federal employee. 

 An employee of a Federal contractor or subcontractor. 

 A special government employee who serves as an advisory 

committee member. 

 A Member of Congress. 

 A staff member of a congressional committee or of an individual 

Member of Congress. 

 The Governor of a state, his/her designated representative, or a 

State government official. 

 A local government official or an Indian tribal government official. 

 A member of a State, local or Indian tribal law enforcement or 

emergency response organization. 
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6.1.1.2.2 Other than a U.S. Citizen. The person is other than a U.S. citizen and is 

one of the following: 

 A Federal employee. 

 An employee of a Federal contractor or subcontractor. 

 A Federal consultant. 

6.1.1.2.3 Other Than a U.S. Citizen and Otherwise Not Eligible for Routine 

Access. The person may be other than a U.S. citizen who is not 

otherwise eligible for routine access to UCNI material as described in 

paragraph 6.1.1.2, but who requires routine access to specific UCNI 

material in conjunction with one of the following: 

 An international nuclear cooperative activity approved by the U.S. 

Government. 

 U.S. diplomatic dealings with foreign government officials. 

 An agreement for cooperation under Section 123 of the Atomic 

Energy Act. 

 Provisions of treaties, mutual defense acts, or Federal contracts or 

subcontracts. 

The authorized individual who desires to release UCNI material to a 

person for the reasons listed in this paragraph must coordinate such 

release with the DOE Secretarial Officer or NNSA Deputy Administrator 

or Chief with cognizance over the information. 

6.1.1.3 Dissemination Limitations - An Authorized Individual may disseminate UCNI only to 

a person who is eligible for routine access to UCNI or to a person granted limited 

access to UCNI. 

6.1.2 Limited Access

Limited access may be granted to individuals not authorized for routine access to 

UCNI. For example, limited access might be granted to an attorney representing 

an Energy Employee (EE) in litigation. 

6.1.2.1 Submission of Request - A person not authorized for routine access to UCNI may 

submit a request for limited access to UCNI through the cognizant DOE security 

office. Per 10 C.F.R. § 1017.16(b) such requests must include the following: 

 The requestor's name, current residence or business address, birthplace, 

birth date, and country of citizenship; 

 A description of the specific UCNI requested; 

 A description of the purpose for which the UCNI is needed; and 
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 Certification by the requestor of his/her understanding of, and willingness to 

abide by, the requirements in 10 C.F.R. pt. 1017 and understands that he or 

she is subject to the civil and criminal penalties specified in subpart F of 

10 CFR part 1017. 

A person granted limited access to specific UCNI as defined in this paragraph is not 

an Authorized Individual and must not disseminate the UCNI. 

6.2 Determination and Handling of Unclassified Controlled Nuclear Information

An Authorized Individual who grants routine access to specific UCNI who is not an 

employee or contractor of the DOE must notify the person receiving the UCNI of 

the protection requirements specified in this section. The following requirements 

for protection and handling UCNI are from 10 CFR part 1017, DOE Order 471.1A, 

and DOE Manual 471.1-1: 

6.2.1 Protection In Use

An Authorized Individual shall maintain physical control over any documents 

marked as containing UCNI to prevent unauthorized access to the information. 

6.2.2 Protection in Storage

UCNI documents shall be stored to preclude unauthorized disclosure. Storage of 

such documents with other unclassified documents in unlocked receptacles, such 

as file cabinets, desks, or bookcases, is adequate if there is Government or 

Government-contractor internal building security during non-duty hours. 

When such internal building security is not provided, locked rooms or buildings 

provide adequate after-hours protection. If rooms or buildings are not locked or 

otherwise controlled, UCNI documents shall be stored in locked receptacles, such 

as file cabinets, desks, or bookcases. 

6.2.3 Reproduction

Authorized Individuals may reproduce UCNI documents without permission of the 

originator to the minimum extent necessary consistent with the need to perform 

their official duties. The reproduced documents must be marked and protected in 

the same manner as the original documents (see Section 6.3 for marking 

guidance). Employees shall use extreme discretion when sending electronic data 

containing UCNI to the printer(s), and must retrieve all printed information 

immediately from the printers to avoid inadvertent disclosure to unauthorized 

personnel. 

In addition, Authorized Individuals shall clear copy machine malfunctions and 

check all paper paths for UCNI. They shall destroy excess paper containing UCNI 

as described below. In the event that a machine malfunction results in a call for 

service, an Authorized Individual shall accompany the repairman to ensure that all 

paper paths are properly cleared of UCNI. 
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6.2.4 Destruction

At a minimum, Authorized Individuals shall destroy UCNI material by using a 

cross-cut shredder that results in particles no larger than 1/4-inch wide and 2 

inches long. 

Note that the decision to dispose of any record information, whether it contains 

UCNI, must be consistent with the records management policies and procedures 

for records disposition within the agency. 

NOTE: Employees must not dispose of UCNI documents in regular waste receptacles 

unless the documents are destroyed in accordance with the guidelines 

established in this policy. 

6.2.5 Transmission

Authorized Individuals should transmit UCNI only by means that preclude 

unauthorized disclosure or dissemination. 

6.2.5.1 Outside a Facility

To transfer UCNI documents outside a facility, Authorized Individuals shall: 

 Package documents, regardless of media, marked as containing UCNI in a 

single, opaque envelope or wrapping. 

 Use any of the following U.S. mail methods: U.S. First Class, Express, 

Certified, or Registered Mail. 

 Any means approved for transmission of classified documents. 

 Hand-carry the documents as long as he/she controls access to the UCNI. 

6.2.5.2 Within a Facility

To transfer UCNI within a facility, Authorized Individuals shall: 

 Use a single opaque envelope or wrapping. The address of the recipient and 

the sender must be indicated on the outside of the envelope or wrapping 

along with the words “To Be Opened By Addressee Only.” 

 Hand-carry the document as long as he/she controls access to the UCNI. 

6.2.5.3 Over Telecommunication Circuits

UCNI must be protected by encryption when transmitted by telecommunications 

services, including voice (telephonic, point-to-point), facsimile, narrative message, 

communications facilities, radio communications, and over public-switched 

broadcast communications paths (e.g., Internet). 
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This can be accomplished through DOE public key systems or use of encryption 

algorithms that comply with all applicable Federal laws, regulations, and standards 

that address the Key Cryptography and Key Management. 

6.2.6 Automated Information Systems (AIS)

The AIS or AIS network must ensure that only Authorized Individuals are able to 

access UCNI. Networks interconnected with a public switched - broadcast network, 

such as the Internet, must provide provisions (authentication, file access controls, 

etc.) to ensure the protection of UCNI against unauthorized access. UCNI 

transmitted over broadcast networks like the Internet, where unauthorized access is 

possible, must have protection (e.g., encryption) to ensure that there is no improper 

access to the information. 

6.2.7 Marking UCNI Documents

Document preparers shall apply UCNI markings to any unclassified material that 

contains or reveals UCNI regardless of any other control marking (e.g., Official 

Use Only, company proprietary) that is also on the document. 

6.2.7.1 Front Marking

After determining that an unclassified document contains UCNI, the Reviewing 

Official marks or authorizes the front of the document to be marked as follows: 

UNCLASSIFIED CONTROLLED NUCLEAR INFORMATION 

NOT FOR PUBLIC DISSEMINATION

Unauthorized dissemination subject to civil and criminal sanctions under Section 

148 of the Atomic Energy Act of 1954, as amended (42 U.S.C. 2168) 

Reviewing Official: _______________________________________ 

(Name/Organization) 

Date: ___________________________________ 

Guidance Used: _________________________________________ 

6.2.7.2 Page Marking

Document preparers shall place the appropriate marking (UNCLASSIFIED 

CONTROLLED NUCLEAR INFORMATION or UCNI) on the bottom of the front of 

the document, and on the bottom of each interior page of the document. 

This marking may be in the Footer of an electronic document or otherwise marked 

on the top and bottom of each interior page of the document. 
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Only (1) the Reviewing Official who applied the markings or (2) the local 

Classification Officer or his/her delegates may authorize the removal of these 

markings. 

Authorized users of UCNI who have been authorized by the Reviewing 

Official/Classification Officer to remove UCNI markings from a document that 

contains UCNI should maintain written documentation of such authorization and 

action. 

6.2.7.3 Use of Other Markings 

 Caveat

An UCNI document may be marked with the caveat "DISSEMINATION 

CONTROLLED" when programmatic requirements place special 

dissemination or reproduction limitations on such information. This 

marking indicates that reproduction, extraction of information, or 

redistribution of such information requires the permission of the 

cognizant DOE program office. If this caveat is applied, the document 

preparer shall ensure that the following marking is placed immediately 

above the document’s front marking: 

DISSEMINATION CONTROLLED 

When applied, it requires the permission of the cognizant DOE program 

office before reproduction, extraction, or redistribution of the document 

so marked takes place. 

 Special-Format Documents

Special formats of unclassified documents (e.g., photographs, 

viewgraphs, films, magnetic tapes, floppy diskettes, CDs, audio or 

videotapes, slides) shall be marked to the extent practicable as 

described in section 6.3. Regardless of the precise markings used in 

such cases, any special-format unclassified document that contains 

UCNI shall be marked such that both a person in physical possession of 

the document (e.g., markings on a viewgraph frame, a film reel and its 

container) and a person with access to the information in or on the 

document (e.g., markings on the projected image of a slide, a warning 

on a film leader) are made aware that it contains UCNI. When space is 

limited, the use of "UCNI" will suffice. 

6.3 Determination of Official Use Only

The definition of OUO is taken from DOE Order 471.3, Identifying and Protecting 

Official Use Only Information, which defines OUO as a designation identifying 

certain unclassified but sensitive information that may be exempt from public 

release under the FOIA and has the potential to damage governmental, 

commercial, or private interests if disseminated to persons who do not need to 

know the information to perform their jobs or other authorized activities. 
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To be identified as OUO, information must be unclassified; have the potential to 

damage governmental, commercial, or private interests if disseminated to persons 

who do not need to know the information to perform their jobs or other authorized 

activities; and fall under at least one of eight FOIA exemptions (2 through 9 listed in 

Attachment A); information falling under exemption 1 can never be OUO because it 

covers information classified by Executive order). (See DOE Guide 471.3-1 for 

additional details.) 

Export Controlled Information (ECI) is a special category of OUO information. ECI 

is certain unclassified Government information under the Department of Energy’s 

cognizance that, if generated by the private sector, would require a specific license 

or authorization for export under regulations. Information and technology regulated 

by the Export Administration Regulations, 15 CFR Parts 742, 744, and 746, and the 

International Traffic in Arms Regulations, 22 CFR 120.21. 

6.3.1 Protection in Use

Reasonable precautions must be taken to prevent access to documents marked 

as containing OUO information by persons who do not require the information to 

perform their jobs. 

6.3.2 Protection in Storage

OUO documents shall be stored to preclude unauthorized disclosure. Storage of 

such documents with other unclassified matter in unlocked receptacles, such as 

file cabinets, desks, or bookcases, is adequate if there is Government or 

Government-contractor internal building security during non-duty hours. 

When such internal building security is not provided, locked rooms or buildings 

provide adequate after-hours protection. If rooms or buildings are not locked or 

otherwise controlled, OUO documents shall be stored in locked receptacles, such 

as file cabinets, desks, or bookcases. 

6.3.3 Reproduction

Authorized Individuals may reproduce OUO documents without the permission of 

the originator to the minimum extent necessary consistent with the need to 

perform their official duties. The reproduced document must be marked and 

protected in the same manner as the original document (see Section 6.3 for 

marking guidance). Employees shall use extreme discretion when sending 

electronic data containing OUO information to the printer(s), and must retrieve all 

printed information quickly from the printers to avoid inadvertent disclosure to 

unauthorized personnel. 

In addition, Authorized Individuals shall clear copy machine malfunctions and 

check all paper paths for OUO. They shall destroy excess paper containing OUO 

as described below. In the event that a machine malfunction results in a call for 

service, an Authorized Individual shall accompany the repairman to ensure that all 

paper paths are properly cleared of OUO. 
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6.3.4 Destruction

At a minimum, Authorized Individuals shall destroy hard-copy OUO documents by 

using strip-cut shredders that result in particles of no more than 1/4-inch wide 

strips. Authorized Individuals shall use appropriate methods to destroy CDs that 

contain OUO information. 

Note that the decision to dispose of any record information, whether it contains 

OUO, must be consistent with the records management policies and procedures 

for records disposition within the agency. 

NOTE: Employees must not dispose of OUO documents in regular waste 

receptacles unless the documents are strip-shredded in accordance with the 

guidelines established in this policy. 

6.3.5 Transmission of OUO

Authorized Individuals should transmit OUO only by means that preclude 

unauthorized disclosure or dissemination. 

6.3.5.1 By Mail

When transmitting OUO by mail, use a sealed envelope and mark the envelope 

with the recipient's address, a return address, and the words TO BE OPENED BY 

ADDRESSEE ONLY. For mail leaving the facility, any of the following U.S. mail 

methods may be used: First Class, Express, Certified, or Registered Mail. Any 

commercial carrier may also be used. 

6.3.5.2 By Hand 

A document marked as containing OUO information may be hand carried between 

or within a facility as long as the person carrying the document can control access 

to the material. 

6.3.5.3 Over Telecommunications Circuits 

6.3.5.3.1 OUO should be protected by encryption when transmitted by 

telecommunications circuits whenever possible. This can be accomplished 

through DOE public key systems or use of encryption algorithms that 

comply with all applicable Federal laws, regulations, and standards that 

address the protection of sensitive unclassified information. However, if 

such encryption capabilities are not available and transmission by mail is 

not a feasible alternative, then regular e-mail or facsimile machines may be 

used to transmit the document 

6.3.5.3.2 An unencrypted facsimile transmission must be preceded by a telephone 

call to the recipient so that he/she can control the document when it is 

received. 

6.3.5.3.3 If encryption is not available and some form of protection is desired, the 

OUO information may be included in a word processing file that is protected 
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by a password and attached to the e-mail message. The sender must call 

the recipient with the password so that he/she can access the file. 

6.3.6 Marking OUO Documents

A document determined to contain OUO information shall be marked as described 

in DOE Manual 471.3-1 and specified below. 

6.3.6.1 Front Marking

After determining that unclassified matter contains OUO, the person making the 

determination marks or authorizes the front of the matter to be marked. Any 

employee from an office with cognizance over such information may determine 

whether such a document contains OUO information. 

The front marking includes the applicable FOIA exemption number and related 

category name (i.e., Exemption 2 - Circumvention of Statute; Exemption 3 - 

Statutory Exemption; Exemption 4 - Commercial/Proprietary; Exemption 5 - 

Privileged Information; Exemption 6 - Personal Privacy; Exemption 7 - Law 

Enforcement; Exemption 8 - Financial Institutions; Exemption 9 - Wells) and the 

name and organization of the employee making the determination and identifies the 

guidance used if the determination was based on guidance. (NOTE: The guidance 

referred to here is guidance issued under paragraphs 5a(3), 5a(4), or 5b(2) of DOE 

O 471.3, not the DOE directives guide (DOE G 471.3-1).) The employee making 

the determination ensures that the following marking is placed on the front of each 

document containing OUO information. 

OFFICIAL USE ONLY 

May be exempt from public release under the Freedom of Information Act (5 U.S.C. 

552), exemption number and category: __ 

CDC FOIA Office review required before public release 

Name/Org.: _____________________________Date:_________ 

Guidance (if applicable)_________________________________ 

6.3.6.2 Special format documents (e.g., photographs, viewgraphs, films, CDs, audiotapes, 

videotapes, CD-ROMs) must be marked so that persons possessing the 

documents and persons with access to the information in or on the documents are 

aware that they contain OUO information. 

6.3.6.3 Documents determined to no longer warrant protection as OUO shall have their 

markings removed as described in DOE Manual 471.3-1. 

6.3.7 Access to Official Use Only

6.3.7.1 Access to (1) documents marked as containing OUO information or (2) OUO 
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information from such documents shall be provided only to those persons who 

need to know the information to perform their jobs or other authorized activities. 

6.4 Conduct of Interviews

6.4.1 The conduct of interviews of current or formerly cleared contractor and Federal 

employees of DOE for the purpose of gaining information and insight about DOE 

process operations in support of NIOSH-EEOICPA responsibilities is established 

in OCAS-PR-010, Requirements for Acquiring Department of Energy Information. 

6.4.2 The provisions of this security plan for conduct of interviews which may involve 

discussion of classified and controlled information applies to all DOE Federal and 

contractor employees as well as NIOSH employees and its contractor 

employees/representatives and members of the Advisory Board on Radiation and 

Worker Health. 

7.0 RECORDS

Information relating to the submittal of a document for review for classified or controlled 

information (e.g., date submitted, date returned) and the results of such reviews. 

8.0 APPLICABLE DOCUMENTS

8.1 Drivers

Energy Employees Occupational Illness Compensation Program Act of 2000. 

Public Law 106-398; 42 USC 7384 et. seq. (as amended); 2000. 

5 U.S.C. 552, The Freedom of Information Act 

8.2 Forms

Verification of policy awareness (Actual form to be developed) 

DEFINITIONS and ACRONYMS

DC – Derivative Classifier is a DOE approved individual responsible for reviewing 

documents generated by this Project, primarily Technical Basis Documents (TBDs), to 

determine whether they contain classified information. 

BIOS – Basic Input/Output System 

CD-ROM – Compact Disk-Read Only Memory 

CFR – Code of Federal Regulations 

CO – Classification Officer is a DOE approved individual responsible for administering 

the classification and UCNI programs at a DOE site. 

9.0 
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DOE – Department of Energy [includes the National Nuclear Security Administration 

(NNSA)]. 

EE – Energy Employee, which is an individual who worked for an Atomic Weapons 

Employer or at a DOE facility. 

FOIA – Freedom of Information Act, which is covered in Title 5 of the United States 

Code, section 552; enacted in 1966 to provide any person the right to request access 

to Federal agency records or information. 

NIOSH – National Institute for Occupational Safety & Health 

NNSA – National Nuclear Security Administration established to oversee and carry out 

the national nuclear security responsibilities of the Department of Energy. 

OCAS – Office of Compensation Analysis and Support 

OUO – Official Use Only, which is certain unclassified Government information that 

may be exempt from public release under the Freedom of Information Act and has the 

potential to damage governmental, commercial, or private interests if disseminated to 

persons who do not need to know the information to perform their jobs or other DOEauthorized activities.. 

PC – Personal Computer 

RO – Reviewing Official 

TBD – Technical Basis Document, which is a report that focuses on a specific technical 

area describing the site with regard to some aspect of its worker radiation protection 

program, the environmental surveillance program, or the X-ray exposure equipment or 

techniques used to acquire X-rays for employment-required purposes. The parameters 

included in a TBD are ones that are needed to perform a thorough dose reconstruction 

related to the specific technical area of that TBD. 

U.S. – United States 

UCNI – Unclassified Controlled Nuclear Information, which is certain unclassified 

Government information concerning nuclear facilities, materials, weapons, and 

components whose dissemination is controlled under section 148 of the Atomic 

Energy Act. 
Effective Date: 1/22/2009 Revision No. 00 Document No. OCAS-PLCY-0001 Page 17 of 17

ATTACHMENT A 

OFFICIAL USE ONLY FOIA EXEMPTION CATEGORIES 

For a more detailed discussion of the following exemption categories with examples, see DOE 

Guide 471.3-1. 

 

Exemption 2 Internal agency rules and practices 

Protects from disclosure of information that if disclosed would allow circumvention of a 

statute of agency regulation (e.g., policies for classifying documents). 

Exemption 3 Prohibited by statute 

Disclosure prohibitions contained in various Federal statutes (e.g., Atomic Energy Act). 

Exemption 4 Trade secrets and other confidential business information 

Protects from disclosure trade secrets and commercial or financial information obtained 

from a person, company, etc., that is privileged or confidential. 

Exemption 5 Inter-agency or intra-agency communications protected by legal privileges; e.g., the 

deliberative process privilege, which includes advice, suggestions, evaluations, or 

recommendations concerning new or revised Government decisions and policies.

Exemption 6 Privacy information 

Information involving matters of personal privacy (e.g., personal, medical, and similar 

files, the disclosure of which would constitute a clearly unwarranted invasion of 

personal privacy). 

Exemption 7 Certain types of information compiled for law enforcement purposes 

Investigatory (e.g., ongoing reports). 

Exemption 8 Information relating to the supervision of financial institutions 

Records concerning examination, operating or condition reports prepared by, on behalf 

of, or for the use of an agency responsible for regulation or supervision of financial 

institutions. 

Exemption 9 Geological information on wells 

Records covering geological and geophysical information and data including maps 

concerning wells (e.g., new drilling techniques).